Charles Eason SBIR/STTR Specialist Tech Futures Group (707)

Transcription

1 Charles Eason SBIR/STTR Specialist Tech Futures Group (707)

2 ShapeMaker Technology Rapid Prototyping Process called Thick Layer Object Manufacturing Can produce objects the size of a house or larger from any 3D CAD model. Prefabricated building components that can be shipped to the construction site for final assembly.

3 Purpose of SBIR/STTR Program Mission: To promote technological innovation and economic growth through the investment of Federal research funds in small US businesses. Goals: Stimulate technological innovation by small US businesses Strengthen the role of small businesses in meeting Federal research and development needs Increase private-sector commercialization of innovations derived from Federal research and development funding Foster and encourage participation in innovation and entrepreneurship by socially and economically disadvantaged persons

4 Valley of Death Research is the transformation of money into knowledge and innovation is the transformation of knowledge into money. Source: SBIR and the Phase III Challenge of Commercialization: Report of a Symposium. NAS, 2007.

5 Intellectual Property Rights Applicant retains worldwide patent rights Applicant grants a nontransferable license to practice the invention to the federal government Federal Government can force you to license the technology to others under certain circumstances: National Emergency March-in Rights SBIR/STTR data protected from disclosure by agencies for 4 years after last deliverable under Phase I, II, or III.

6 SBIR/STTR Participating Agencies TOTAL ~ $2.7B DOD HHS NASA DOE NSF DHS USDA DOC ED EPA DOT SBIR/STTR SBIR/STTR SBIR/STTR SBIR/STTR SBIR/STTR SBIR SBIR SBIR SBIR SBIR SBIR

7 SBIR/STTR Budgets by Agency, FY 2013 ~$2.3B in FY13 across all agencies Grants Contracts Agencies with SBIR & STTR Programs Department of Defense (DOD) Department of Health and Human Services (HHS): National Institutes of Health (NIH)* Department of Energy (DOE), including Advanced Research Projects Agency (ARPA-E) National Science Foundation (NSF) National Aeronautics and Space Administration (NASA) Agencies with SBIR Programs U.S. Department of Agriculture (USDA) Department of Homeland Security (DHS): Science and Technology Directorate (S&T) and Domestic Nuclear Detection Office (DNDO) Department of Education (ED)* Department of Transportation (DOT) Department of Commerce (DOC): National Oceanic and Atmospheric Administration (NOAA) and National Institute of Standards and Technology (NIST)* Environmental Protection Agency (EPA) Budget $ 1.0 B $697.0 M $183.9M $153.0 M $ M Budget $18.4M $15.7 M $13.4 M $7.6 M $7.4 M $3.8 M

8 Eligibility to Participate Must be a for-profit organization >50% owned and controlled by: i. US citizens, permanent resident aliens and/or one or more domestic business concerns which themselves are >50% owned and controlled by US Citizens or permanent resident aliens ii. Multiple domestic Venture Capital Firms, Hedge Funds, or Private Equity Funds, provided that no single such investor owns more than 50% Must be a Small Business (fewer than 500 employees) PI s primary employment must be with the small business concern at the time of award and for the duration of the project period R&D must be done in U.S.

9 Who Participates in SBIR/STTR? Firms are typically small and new to the program. About 1/3 are first-time Phase I awardees. Small hi-tech firms from across the country. Firm Size Distribution*

10 SBIR/STTR: 3-Phase Program PHASE I Feasibility Study $80-225K and 6-month (SBIR) or 12-month (STTR) Award PHASE II Expand on Phase I R&D $750k - $1.5M and 2-year Award PHASE III Commercialization Stage Use of non-sbir/sttr Funds

11 SBIR AND STTR DIFFERENCES SBIR: STTR: Permits research institution partners [Outsource ~ 33% Phase I and 50% Phase II R&D] Principal Investigator (PI) primary employment (>50%) must be with small business concern Requires research institution partners [40% small business concerns (for-profit) and 30% U.S. research institution (non-profit)] PI primary employment not stipulated [PI can be from research institution and/or from small business concern, except NSF] AWARD ALWAYS MADE TO SMALL BUSINESS

12 Researching Topics Proposals must match a topic that the agency is interested in funding Each agency generates a solicitation listing the research topics they are seeking SBIR proposals. Solicitations are issued one to three times a year depending on the agency Topics are selected by agency, but it may be possible to influence future topics by working closely to develop future topics and

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15 Sample NSF SBIR Proposal Outline Cover Sheet and Certification Project Summary (1 page) Project Description (maximum 15 pages) Summary (1 page) The Market Opportunity (2 to 4 pages) The Innovation (1 to 3 pages) The Company/Team (1 to 3 pages) Technical Discussion and R&D Plan (5-7 pages) References Cited Biographical Sketches Budget, Sub-budgets, and Budget Justification Current and Pending Support of PI and Senior Personnel Facilities, Equipment, and Other Resources Supplementary Docs

16 Sample NIH Proposal Content 1. Introduction to Application (1pg) 2. Specific Aims (1 pg) 3. Research Strategy (6 or 12 pg) Significance Innovation Approach 4. Inclusion Enrollment Report 5. Progress report/publication List 6. Protection of Human Subjects 7. Inclusion of Women and Minorities 8. Targeted/Planned Enrollment Table 9. Inclusion of Children 10. Vertebrate Animals 11. Select Agents 12. Multiple PD/PI Plan 13. Consortium/Contractual Arrangements 14. Letters of Support 15. Resource Sharing Plans 16. Appendix Bibliography and Refs Cited Project Summary/Abstract (30 lines) Public Health Relevance Statement/Narrative Senior/Key Person Profiles Biographical Sketches (4 pg ea.) Facilities & Other Resources Equipment Project Budget Subaward Budget Cover Letter Commercialization Plan (12 pg; Ph II & Fast Track only) Forms

17 Basic Commercialization Plan The Market Opportunity The Company/Team The product or technology and competition Financing and revenue model

18 Cost Proposal (Budget) Direct Costs Material Labor Travel Indirect Costs Overhead G&A Profit Most agencies allow up to 7%

19 Submitting Your Proposal Online submittal and registrations required for most agencies Company Registry with SBA (new in 2013) Obtain Employer Identification Number (EIN) from IRS Obtain DUNS number from Dun and Bradstreet Register with System for Award Management (SAM) Don t wait till the last minute

20 Proposal Review Criteria 1. Scientific and Technical Merit 2. Importance of the Problem 3. Scientific or Technical Innovation 4. Potential Commercial Application 5. Investigator and Resource Qualifications 6. Budget

21 Odds of Being Funded For Phase I, about 1 in 8 to 1 in 12 proposals receive funding. Many are first time proposers For Phase II, about 1 in 2 to 1 in 3 receive funding For Phase III, about 1 in 20 succeed in commercializing their technology

22 Common Reasons For Decline Screened out for format reasons Not innovative or unique Work plan does not contain specifics as to how research will be carried out Insufficient Technical Information Principle Investigator lacks necessary expertise Get Review Panel Feedback

23 Additional Funding Opportunities NSF Phase IB ($50K) NSF Phase IIB ($500K) NSF Phase IICC ($40K) DoD FastTrack ($30-$50K interim funding) DoD Phase II Enhancement/Phase II Plus ($500K) EPA Phase II Verification Testing Option (50K) NASA Phase II Enhancement ($150K) State Matching Funding Programs Other Grants

24 Conclusion Over $2.7 Billion Available Must be innovative R&D with some degree of risk Keys to Success: Be Responsive to agency need. Demonstrate commercial application and strategy Detailed Technical Work Plan Experienced Team with Credentials